The FCA's Investment Funds Sourcebook (FUND) and Collective Investment Schemes Sourcebook (COLL) set out requirements for managers and depositories of authorised and unauthorised investment funds. Record keeping requirements inlcude those relating to minutes of meetings, records of units held. acquired or disposed of, subscription and redemption orders, issues and cancellations of units and overall general record keeping obligations to evidence compliance with rules and, for alternative investment funds, details of assets that are not custodial assets.
To view the FCA's table of recordkeeping requirements found in COLL: https://www.handbook.fca.org.uk/handbook/COLL/Sch/1/1.html
Link to Handbook https://www.handbook.fca.org.uk/handbook/COLL/
Watch it Work
Contact Us
Chat